Richard L. Rose

NPA ASSET MANAGEMENT

Fair Lawn, NJ 07410

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CRD#: 2131273

Professional summary

Richard Lee Rose, AIF®, who also goes by Richard L Rose, Rick Rose, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Fair Lawn, New Jersey and NATIONWIDE PLANNING ASSOCIATES INC. located in New Providence, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard L Rose | Rick Rose

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) DUALLY REGISTERED WITH NPA ASSET MANAGEMENT (RIA) AND NATIONWIDE PLANNING ASSOCIATES, INC (AFFILIATED B/D), 32-16 BROADWAY, 2ND FLOOR, FAIR LAWN, NJ 07410. INVESTMENT RELATED, START DATE 4/26/2010. 2)INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Rose's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 9, 2018 - Present

NPA ASSET MANAGEMENT, LLC

Office #1: 32-16 Broadway 2nd Floor, Fair Lawn, NJ 07410

RIA

CRD#: 131534

Fair Lawn, NJ

Current

April 28, 2010 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 785 Central Avenue, New Providence, NJ 07974Office #2: 32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410

CRD#: 31029

New Providence, NJ

Past

May 11, 2010 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PARAMUS, NJ

Past

August 28, 2008 - December 31, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK, NY

Past

August 28, 2008 - December 31, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW YORK, NY

Past

September 8, 2006 - August 11, 2008

TD WEALTH MANAGEMENT SERVICES INC.

RIA

CRD#: 6940

RAMSEY, NJ

Past

September 8, 2006 - August 11, 2008

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

RAMSEY, NJ

Past

October 20, 2004 - September 11, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

GLEN ROCK, NJ

Past

October 20, 2004 - September 11, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

GLEN ROCK, NJ

Past

November 22, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

RIDGEWOOD, NJ

Past

August 12, 2002 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

August 18, 2000 - August 13, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 3, 1993 - June 23, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

January 8, 1993 - October 6, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 16, 1992 - November 9, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 28, 1991 - February 18, 1992

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

April 11, 1991 - November 5, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NPA ASSET MANAGEMENT, LLC

CRD#: 131534 / SEC#: 801-66006

RIA

Registered Investment Advisory firm - (2/23/2006 Approved)

New Jersey

Registered Investment Advisory firm - (8/12/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/23/2024)

Connecticut
(8/23/2024)

Delaware
(10/9/2024)

Florida
(5/21/2010)

Georgia
(4/28/2010)

Hawaii
(10/17/2014)

Massachusetts
(7/27/2010)

New Jersey
(5/10/2010)

IAR

New Jersey
(1/9/2018)

New York
(5/11/2010)

North Dakota
(10/14/2024)

Ohio
(10/8/2024)

Oklahoma
(10/8/2024)

Oregon
(7/27/2017)

Pennsylvania
(4/28/2010)

Rhode Island
(8/26/2024)

South Carolina
(4/28/2010)

Tennessee
(10/9/2024)

Texas
(8/23/2024)

Utah
(8/26/2024)

Vermont
(8/23/2024)

Virginia
(4/30/2010)

Wisconsin
(10/29/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/1/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 10/8/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/18/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NPA ASSET MANAGEMENT, LLC

CRD#: 131534 / SEC#: 801-66006

RIA

Registered Investment Advisory firm - (2/23/2006 Approved)

New Jersey

Registered Investment Advisory firm - (8/12/2011 Terminated)

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Contact information

Main Address

32-16 Broadway 2nd Floor, Fair Lawn, NJ 07410

Mailing Address

Phone number

(201) 476-0029

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NPA ASSET BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,855
AUM (Assets Under Management)	$ 1,009,851,764

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard L. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TD WEALTH MANAGEMENT SERVICES INC.

TD WEALTH MANAGEMENT SERVICES INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

PRUDENTIAL EQUITY GROUP, LLC

CITICORP INVESTMENT SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

PRIME CHARTER LTD.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1998

Series 63

Date: 4/17/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/22/1991

Series 9

Date: 11/1/2013

Series 10

Date: 10/8/2013

Series 24

Date: 10/18/1994

FINRA

Current Firm

NPA ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NPA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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